1625-0086 Stat Authority

Coast Guard (Great Lakes Pilotage), DHS
any U.S. registered pilot to provide pilotage service.
[CGD 74–233, 40 FR 41527, Sept. 8, 1975, as
amended by CGD 75–228, 40 FR 57673, Dec. 11,
1975. Redesignated and amended at 61 FR
32655, June 25, 1996, and further redesignated
and amended by USCG–1998–3976, 63 FR 35139,
35140, June 29, 1998]

PART 402—GREAT LAKES PILOTAGE
RULES AND ORDERS
Subpart A—General
Sec.
402.100

Purpose.

Subpart B—Registration of Pilots
402.210 Requirements and qualifications for
registration.
402.220 Registration of pilots.

Subpart C—Establishment of Pools by Voluntary Associations of United States
Registered Pilots
402.320

Working rules.

AUTHORITY: 46 U.S.C. 2104(a), 8105, 9303,
9304; 49 CFR 1.46 (mmm).

Subpart A—General
§ 402.100

Purpose.

The purpose of this part is to implement those provisions of the Great
Lakes Pilotage Regulations (part 401 of
this chapter) which authorize or require the Commandant to issue supplementary rules and orders.
[27 FR 11947, Dec. 4, 1962, as amended at 32
FR 14223, Oct. 13, 1967; 61 FR 5721, Feb. 14,
1996. Redesignated and amended at 61 FR
32655, June 25, 1996, and further redesignated
and amended by USCG–1998–3976, 63 FR 35139,
35140, June 29, 1998]

Subpart B—Registration of Pilots

hmoore on PROD1PC68 with HMCFR

§ 402.210 Requirements and qualifications for registration.
(a) Pursuant to § 401.210(a)(4), each
applicant for an original registration
at the time of application and each
Registered Pilot annually is required
to pass a physical examination given
by a licensed medical doctor and reported on the form furnished by the Director. The examination report shall
describe the applicant’s or Registered

§ 402.220
Pilot’s visual acuity, color sense, physical condition, and competency or perform the duties of a U.S. Registered
Pilot.
(b) Any disease, physical or mental
defect, or impairment to hearing or
visual acuity, such as epilepsy, insanity, senility, acute venereal disease,
neurosyphilis, hemiplegia, paralysis or
missing arm, leg, or eye, muteness or
pronounced speech impairment, acute
kidney or gastro-enteritis disease, extreme obesity, addiction of alcohol or
narcotics, acute varicosity of the legs,
cardiovascular disease or other disorder which would impair the applicant’s ability to be available for service when required and to withstand the
rigors of boarding vessels, climbing
ladders or great heights, standing for
long periods of time, and performing
his duties under prolonged periods of
nervous strain are causes for determination of physical incompetency.
(c) An applicant for original registration must have a visual acuity either
with or without glasses of at least 20/20
vision in one eye and at least 20/40 in
the other. An applicant who wears
glasses or contact lenses must also
pass a test without glasses or lens of at
least 20/40 in one eye and at least 20/70
in the other. Registered Pilots, however, must have either with or without
glasses or lens visual acuity of at least
20/30 in one eye and at least 20/50 in the
other. A Registered Pilot who wears
glasses or lens must also pass a test
without glasses or lens of at least 20/50
in one eye and at least 20/100 in the
other. The color sense of original applicants and Registered Pilots shall be
tested by a pseudoisochromatic plate
test. Passage of the Williams lantern
test or its equivalent is an acceptable
substitute for a pseudoisochromatic
plate test.
[CGFR 68–57, 33 FR 6479, Apr. 27, 1968. Redesignated and amended at 61 FR 32655, June 25,
1996, and further redesignated and amended
by USCG–1998–3976, 63 FR 35139, 35140, June
29, 1998]

§ 402.220 Registration of pilots.
(a) Each applicant pilot must complete the number of round trips specified in this section prior to registration
as a U.S. registered pilot. The round
trips must be made in company with a

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hmoore on PROD1PC68 with HMCFR

§ 402.320

46 CFR Ch. III (10–1–06 Edition)

registered pilot, on oceangoing vessels
of 4,000 gross tons or over, and must be
within one year of the date of application.
(1) If the applicant pilot holds a master’s license, a minimum of five round
trips are required over the waters for
which registration is desired.
(2) If the applicant pilot holds a chief
mate’s license or a second mate’s license, or, holds a first class pilot’s license with service in the capacity of
first mate or second mate, a minimum
of eight round trips are required over
the waters for which registration is desired.
(3) If the applicant pilot holds a first
class pilot’s license or a third mate’s license, a minimum of twelve round trips
are required over the waters for which
registration is desired.
(b) No course of instruction prescribed by a pilot association shall be
approved unless it includes the following minimum criteria:
(1) Instruction in the maneuvering
characteristics of various types of vessels and propulsion machinery including the characteristics of direct-drive
motor, geared-drive motor, turbo-electric, steam turbine and steam reciprocating drives. Study of maneuvering
characteristics to include turning radius, times and distances to stop, time
to back, etc.
(2) Instruction in the effects of oceangoing vessels in restricted waters.
(3) Instruction in the use of tugs,
docking procedures in locks and piers,
and transiting bridges.
(4) Instruction in search and rescue
and civil defense procedures as issued
by the U.S. Coast Guard, Federal,
State, and local port authorities.
(5) Instruction in basic helm and engine telegraph orders in the Greek,
Spanish, German, and Italian languages.
(6) Instruction in communication, security, and signal procedures applicable to U.S. registered and foreign vessels on the Great Lakes as prescribed
by the U.S. Coast Guard, St. Lawrence
Seaway Development Corporation, U.S.
Corps of Army Engineers, and port authorities.
(7) Instruction in Customs, Immigration, Quarantine, Department of Agriculture, and Coast Guard regulations

applicable to U.S. registered and foreign vessels on the Great Lakes.
(8) Instruction in the Great Lakes Pilotage Act of 1960; Great Lakes Pilotage Regulations; Presidential Proclamation of December 22, 1960; and
Memorandum of Arrangements, Great
Lakes Pilotage, between the Secretary
of Commerce of the United States and
the Minister of Transport, Canada, of
May 1, 1961.
(9) Instruction in miscellaneous subjects including man-overboard recovery (i.e. Williamson turn); collision,
fire, and explosion procedures; and maneuvering in ice.
(10) Instruction in radar plotting and
use of foreign made navigational equipment.
(Secs. 4 and 5, 74 Stat. 260 (46 U.S.C. 216b,
216c), as amended by Pub. L. 95–455; sec.
6(a)(4), 80 Stat. 937, as amended (49 U.S.C.
1655(a)(4)); 49 CFR 1.46(a)))
[27 FR 11947, Dec. 4, 1962, as amended at 28
FR 4758, May 11, 1963; 31 9067, FR July 1, 1966;
CGD 78–144b, 44 FR 64838, Nov. 8, 1979. Redesignated at 61 FR 32655, June 25, 1996, and further redesignated by USCG–1998–3976, 63 FR
35139, June 29, 1998]

Subpart C—Establishment of Pools
by Voluntary Associations of
United States Registered Pilots
§ 402.320

Working rules.

(a) Section 401.320(d) (2) and (6) of
this chapter require that voluntary associations of U.S. Registered Pilots authorized to establish pilotage pools
agree to submit Working Rules for approval of the Director and that they
will coordinate their pool operations
with Canada on a reciprocal basis. The
following approved Working Rules are
on file in the office of the Director and
are available for public inspection by
any person properly and directly concerned:
(1) The Working Rules and Dispatching Procedures for District No. 1,
amended and adopted by the St. Lawrence Seaway Pilots Association, Inc.,
Cape Vincent, N.Y., dated February 1,
1965, amended to April 25, 1972.
(2) The joint (interpool) working
rules for United States and Canadian
Districts No. 1 and No. 2 adopted by the

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Coast Guard (Great Lakes Pilotage), DHS
St. Lawrence Seaway Pilots Association, Cape Vincent, N.Y.; Lakes Pilots
Association, Inc., Port Huron, Mich.;
and the Supervising Pilot, Department
of Transport, Port Weller, Ontario,
Canada, approved as of October 14, 1970.
(3) The Working Rules for District
No. 2, amended and adopted by the
Lakes Pilots Association, Inc., Port
Huron, Mich., approved as of May 15,
1967.
[28 FR 12852, Dec. 4, 1963, as amended at 30
FR 5512, Apr. 17, 1965; 30 FR 12680, Oct. 5, 1965;
CGFR 67–39, 32 FR 8590, June 15, 1967; 32 FR
14223, Oct. 23, 1967; CGD 74–233, 40 FR 41527,
Sept. 8, 1975. Redesignated and amended at 61
FR 32655, June 25, 1996, and further redesignated and amended by USCG–1998–3976, 63 FR
35139, 35140, June 29, 1998]

PART 403—GREAT LAKES PILOTAGE
UNIFORM ACCOUNTING SYSTEM
Subpart A—General
Sec.
403.100
and
403.105
403.110
403.115
403.120

Applicability of system of accounts
reports.
Records.
Accounting entities.
Accounting period.
Notes to financial statements.

Subpart B—Inter-Association Settlements
403.200

General.

Generally Accepted Accounting Principles (GAAP) issued by the Financial
Accounting Standards Board. These
guidelines are available by writing to
the Director, Great Lakes Pilotage at
the address listed in § 401.110(a)(9) of
this chapter.
[60 FR 18369, Apr. 11, 1995. Redesignated and
amended at 61 FR 32655, June 25, 1996, and
further redesignated and amended by USCG–
1998–3976, 63 FR 35139, 35140, June 29, 1998]

§ 403.105

403.300

Financial reporting requirements.

403.400

Uniform pilot’s source form.

Subpart D—Source Forms
AUTHORITY: 46 U.S.C. 2104(a), 8105, 9303,
9304; 49 CFR 1.46 (mmm).
SOURCE: 60 FR 18369, Apr. 11, 1995, unless
otherwise noted. Redesignated by USCG–
1998–3976, 63 FR 35139, June 29, 1998.

Subpart A—General
SOURCE: 60 FR 18369, Apr. 11, 1995 unless
otherwise noted. Redesignated at 61 FR 32655,
June 25, 1996.

§ 403.100 Applicability of system of accounts and reports.
Each Association shall keep its books
of account, records and memoranda,
and make reports to the Director in accordance with the guidelines of the

Records.

(a) Each Association shall maintain
the general books of account and all
books, records, and supporting memoranda in such manner as to provide, at
any time, full information relating to
any account. Supporting memoranda
must provide sufficient information to
verify the nature and character of each
entry and its proper classification.
(b) Each Association shall maintain
all books, records and memoranda in a
manner that will readily permit audit
and examination by the Director or the
Director’s representatives. All books,
records and memoranda shall be protected from loss, theft, or damage by
fire, flood or otherwise, and shall be retained for 10 years unless otherwise authorized by the Director.
§ 403.110

Subpart C—Reporting Requirements

hmoore on PROD1PC68 with HMCFR

§ 403.120

Accounting entities.

Each Association shall be a separate
accounting
entity.
However,
the
records shall be maintained with sufficient particularity to allocate items to
each pilotage pool operation or
nonpool operation and to support the
equitable proration of items that are
common to two or more pilotage pools.
§ 403.115

Accounting period.

Each Association subject to this part
shall maintain its accounts on a calendar year basis unless otherwise approved by the Director.
§ 403.120

Notes to financial statements.

(a) All matters that are not clearly
identified in the body of the financial
statements of the Association, but
which may materially influence interpretations or conclusions that may
reasonably be drawn in regard to financial condition or earnings of the Association, shall be clearly and completely

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